Introduction to Safety Management Systems (SMS)

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					Introduction to Safety                        Federal Aviation
                                              Administration
Management Systems
(SMS)




Presented to: 135 Seminar




By: Elwyn Jordan, Aviation Safety Inspector
Date: April 18 & 19, 2007
SMS Definitions
•    AOC – Air Carrier Operating Certificate
•    AMO – Aviation Maintenance Organization
•    ATO – Aviation Training Organization
•    ASAP - Aviation Safety Action Program
•    FAA AVS – FAA Aviation Safety Division
•    FA Act – FAA Aviation Act of 1958
•    FOQA – Flight Operational Quality Assurance
•    ICAO – International Civil Aviation Organization
•    QMS – ISO 9000 Quality Management System
•    SASO – Systems Approach to Safety Oversight
•    SMS – Safety Management System

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SMS Purpose and Methods
• The purpose of a safety management
  system is to provide a systematic way to
  control risk and to provide assurance that
  those risk controls are effective




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A Managerial Approach: ICAO view

• Safety should be approached in the same
  way as any other important objective –
  through careful, effective management
• Safety management combines system
  safety and quality management (US
  Translation)
       – Safety Risk Management
       – Safety Assurance



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FAA Support of the SMS Concept

• U.S. Response to the Annex 6 proposal
  endorsed the SMS concept
• Prior U.S. implementation of system safety-
  based oversight systems
       – ATOS
       – SASO
• FAA (AVS) will also apply safety
  management concepts to oversight
  activities

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ICAO Annex 6 Requirements
• ―…a safety management system acceptable to the
  State of the Operator that, as a minimum:
       – identifies safety hazards;

       – ensures that remedial action necessary to maintain an
         acceptable level of safety is implemented; and

       – provides for continuous monitoring and regular assessment
         of the safety level achieved.”

       – …and, aims to make continuous improvement to the overall level
         of safety (proposed amendment)



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Annex 6 requirements (cont.)

• ―An accepted safety management system
  shall clearly define lines of safety
  accountability throughout the operator’s
  organization, including a direct
  accountability for safety on the part of
  senior management.‖




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  Safety and Other Business Objectives
• Safety is not the primary objective of any business
  enterprise—businesses exist to perform a mission
  and fulfill customer requirements
• Safety must be managed like, and in conjunction
  with, other business objectives
• An effective management system can help
  balance:
  – Safety (Prevent injury and damage)
  – Quality (Prevent delivery of defective products & services)
  – Efficiency (Prevent waste)


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SMS or QMS? SMS & QMS

  • Quality Management System (QMS)
    requirements are based on customer
    requirements for products & services
  • Requirements for protective (risk
    management) systems such as Safety
    Management Systems (SMS) are based on
    objective determination of risk
  • Both types of systems should assure
    consistency of meeting requirements

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Risk Acceptance
• Risk is inherent in aviation operations
• Aspects of the environment and operational
  activities determine risk
• Operator is responsible for risk management
  (Title 49 – FA Act)
• A fundamental concept of risk management
  is acceptance of risk
• Risk management is fundamental to the SMS



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Role of the Regulator

• U.S. Legislation (Statutory Law) gives
  specific responsibilities and authority to the
  FAA and to operators
• FAA is responsible for:
       – Promulgating regulations and standards
       – Issuing A.O.C.s to organizations who show the
         ability to meet regulatory requirements
       – Providing for continuing operational safety through
         oversight functions


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Role of the Operator

• Operators must meet the regulatory
  requirements to obtain and hold an A.O.C.
• Operators must maintain the ―highest level
  of safety in the public interest.‖
• A Safety Management System gives the
  operator’s management a structured system
  to meet their legal and regulatory
  requirements


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FAA/Operator Relationship

• The FAA believes that a closer, more
  collaborative relationship with more sharing
  of information will lead to a more effective,
  efficient management of both FAA and
  operator safety responsibilities.




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 SMS/Oversight Relationships
                                Protection                      Production

                               FAA’s Safety
           Objective:          Management
           Public               System for
           Safety               Oversight
                                                  Direct sampling
                                                  (e.g. surveillance)

                                                                 Objective: Serve
                                                                 customer
                                                                 requirements

                                                                                         Outputs =
          Objective:         Operator’s Safety   Inputs                                  Products/
                              Management                                Process
          Control                                                                        Services
          safety risk          System for
                               Production




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Four ―Pillars‖ of SMS

                                             3. Policy:
                                            (Structure)


                            1. Risk                        2. Safety
                             Mgmt.                        Assurance

                                      4. Safety Promotion:
                                            (Culture)



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The SMS Standard

• First FAA SMS standard was delivered on June 22,
  2006 in Advisory Circular AC 120-92.
• SMSs are currently voluntary in the United States
• The standard is organized around the ―four pillars‖
• The standard is based on an extensive review of
  existing SMSs around the world
• The format of the SMS standard is similar to that of
  the ISO standards




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    Policy
                           SMS Processes
    Cl. 4

                            Safety
                                              Safety                           Safety
                             Risk
  Procedures                                Assurance                    Promotion (Culture)
                          Management
                                            (SA) Cl. 6                       (SP) Cl. 7
                          (SRM) Cl. 5
    Process
    Controls                   System
                              Description      Data          •Audits         Communication
                                                             •Invest.
                                Hazard                       •Reports
                              Recognition    Analysis                         Training
                               Risk
                              Analysis
                                             Assessment
                                 Risk
                              Assessment
                                                Prevention &
                                Risk           Corrective Action
                               Control


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Integration with Existing Programs

• Current SMS standard is aligned with
  existing FAA AC 120-59A Internal
  Evaluation Programs
• The standard is designed to be compatible
  with other voluntary programs such as
  ASAP and FOQA
• Future SMS development will establish
  commonality of oversight system and SMS
  practices and tools

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Examination of Existing Regulations

• FAA is evaluating current and anticipated
  conditions, and current regulations,
  standards, and policies to determine the
  need changes to the regulations
• The FAA will develop new guidance material
  and training courses throughout 2007-2008




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Rulemaking Effort

• Rulemaking Project Record (RPR) opened
  Sep/Oct 2006
• Rulemaking Project Team assigned Dec
  2006
• Proposed strategy:
       – Align regulations within ICAO
       – Draft acceptance criteria (similar to present
         voluntary standard) in policy documents
       – Set implementation milestones in regulatory
         language


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Proof of Concept

• A set of proof of concept trials will
  commence in 2007
• These trials will consist of voluntary SMS
  development and interface with oversight
  systems
• The purpose is to gather data to be used in
  further development of guidance material,
  risk management and audit tools, and
  implementation strategies

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Proof of Concept (continued)

• Three projects are being conducted under a
  single Proof of Concept Master Plan
       – Part 121 Commercial Aviation (AFS-900 Lead)
       – General Aviation and Air Taxi (FAAST Lead)
       – Maintenance Organizations (Joint Lead)
• Master Plan will be used by the Steering
  Committee to coordinate projects and:
       – Track lessons learned
       – Coordinate Orientation and Outreach


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SMS Implementation

• Implementation should follow a phased
  approach
• The processes underlying the four pillars
  will be modularized
• Growth and increasing maturity will then be
  emphasized for each process and the
  system as a whole
• Maturity model similar to Capability Maturity
  Model (CMM) used in software and systems
  development and management

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 SMS Maturation Process (Notional)
                                                     System Integration                      Joint Audits
                                                       (Interfaces/Attribute                   Complete
                                                        validation)                 4        Demonstrated Mgmt
                                                                                               System Capabilities

                                                                               Audit Program
                                Process Measures Defined                         Developed
                                                                    3          Tracking/Analysis
                                                                                 procedures developed

                        Risk Controls                          Information Technology Resources
                         Designed                   2          —planned and allocated


      Resp/Auth &
      Process/ Procedures for                   SMS Procedures Draft
         Tech Processes                 1       SMS Organization Plan
                                                 Resp/Auth for SMS
                                                 SMS Structure

Basic Reg.
Compliance              0       SMS Proposal




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Safety Management in AVS

• The Aviation Safety Division (AVS) intends
  to employ the four pillars of safety
  management in the oversight process.
• Consistent with ICAO ―managerial
  approach‖ and ―safety program‖




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Critical Elements of Oversight (ICAO)

1. Primary legislation                      5. Tech guidance, tools,
2. Specific operating                          and provision of
   regulations                                 safety critical
3. State civil aviation                        information
   system and safety                        6. Licensing,
   oversight functions                         certification,
4. Tech personnel                              authorization, and
   qualifications and                          approval obligations
   training                                 7. Surveillance
                                               obligations
                                            8. Resolution of safety
                                               concerns

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“Carelessness and overconfidence are more
dangerous than deliberately accepted risk”
Wilbur Wright, 1901




                            Wilbur Wright gliding, 1901
                      Photographs: Library of Congress




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1935 Federal Aviation
Commission Study
      “It seems to us in any case unreasonable to
         expect that governmental responsibility
         should extend to the provision of a minute
         and detailed inspection system in every
         [operation]….” “To superpose a
         governmental inspection on [an operator’s]
         own is to increase the costs and to
         encourage the manufacturer to transfer the
         responsibility to government by slacking off
         on his own supervision.”

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1935 Federal Aviation
Commission Study
“We believe that the aim should be to
  encourage [operators] to exert the largest
  possible measure of control over their own
  [operation] in the interest of their own
  reputation, and that where there is
  adequate evidence of a proper sense of
  responsibility and a proper control system
  the government is justified in relaxing its
  own supervision.”

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